Since 2019, all FCA-regulated firms are required to comply with the Senior Managers and Certification Regime (known as
Since 2019, all FCA-regulated firms are required to comply with the Senior Managers and Certification Regime (known as
The FCA requires financial firms to follow a formal process for receiving and handling customer complaints. That means
A recent report estimated that 27.7m UK adults could be considered to be living in vulnerable circumstances, an
The Joint Money Laundering Steering Group has produced guidance on the prevention of money laundering for the UK
Preparing for a new era in financial compliance with Sarbanes-Oxley (SOX) In March 2021, the UK’s Department for
The Payment Services Regulations 2017 (the ‘Regulations’) apply to banks, building societies, card issuers, and other firms which
What is Professional Liability Insurance (PII)? Professional liability insurance, also known as errors and omissions (E&O) insurance, is
What is the Senior Managers and Certification Regime? (SMCR) The Senior Managers and Certification Regime is intended to
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